Appeals Policy and Procedures
The certificant shall have 30 days from the date of the Chairman of the Ethics and Discipline Committee’s notification to request an appeal of the Committee’s findings to the Board of Directors. In such an event, the Chief Executive Officer shall notify the Board of Directors that an appeal has been filed.
(i) Information Included in the Appeal. The certificant’s appeal of the Ethics and Discipline Committee’s decision must be made in writing and must be mailed by traceable courier or certified mail, return receipt requested, to the Board of Directors. The certificant shall state the specific grounds why the appeal should be considered. The certificant may not present, include, or rely on facts that were not presented in the proceedings.
(ii) Appeal Hearing. In the event that the certificant timely and properly appeals the Ethics and Discipline Committee’s decision, the Board of Directors shall constitute and serve as an Appeals Panel and shall notify the certificant of the date and location of the appeal hearing. The appeal hearing must be scheduled as soon as possible after receipt of the certificant’s notification of appeal. The appeal shall be heard and conducted at NCCCO headquarters or another location designated by NCCCO. The certificant shall pay for his or her expenses. The certificant shall have the right to bring his or her own attorney to counsel the certificant at the hearing, but in no event shall counsel be allowed to provide testimony in lieu of, or on behalf, of the certificant.
The hearing shall be closed to third parties with the exception of any witnesses, experts, consultants, and legal counsel. The Board of Directors shall consider all available evidence presented and which formed the basis for the Ethics and Discipline Committee’s determination, and such other evidence as it may, in its discretion, deem appropriate. A formal record of the proceeding shall be kept on file at NCCCO’s headquarters office.
b) Board of Directors’ Decision
(i) Board of Directors’ Decision. The Board of Directors shall only overrule the Ethics and Discipline Committee’s recommendations and conclusions in the event of the following:
- The Code of Ethics was incorrectly applied;
- The findings of facts by the Ethics and Discipline Committee were clearly erroneous, arbitrary or capricious; and/or disproportionate to the facts surrounding the violation;
- The disciplinary sanctions imposed by Ethics and Discipline Committee were grossly disproportionate to the facts surrounding the violation.
The Board of Directors’ decision shall be final and not subject to further appeal.
(ii) Notification/Publication of Sanction. Within 30 days from the appeal hearing, the Board of Directors shall notify the complainant and the certificant in writing of its decision. The President shall report the name(s) of the sanctioned certificant and the violation of the Code of Ethics. The Board of Directors reserves the right to provide such report to any interested person or public agency deemed necessary to protect the public.
c) Close of Case
Once the final decision has been made, the matter shall be closed and the files shall be retained at NCCCO’s headquarters office. Members of the Ethics and Discipline Committee, the Board of Directors, and others in contact with materials related to the investigation, shall return all information received during the investigation to NCCCO headquarters office, where one set of records shall be maintained and the remainder destroyed.
Click here for a chart of NCCCO's Decisions/Appeals Process.